DISCIPLINED PERSONS LIST

Name Watt, Robert Alfred
Date of Order or Settlement August 18, 1989
Banned Until August 18, 1989
Sanction 1-year director/officer ban (BCSC)
Payment Agreed / Ordered $250 in costs
Violation Failure to comply with the "Know Your Client" rules

Participation in unregistered advising

Ruling Body BCSC, Ontario Securities Commission (OSC)
Supporting Documents

Settlement/Order - August 18, 1989 New window

Notice of Hearing (includes OSC agreed facts) - June 23, 1989 New window
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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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